Attorney in San Francisco, CA

Public Interest

San Francisco, CA

Attorney in San Francisco, CA

Non-practicing Attorney

No

H1: FINRA Job Opportunity: Principal Analyst, Risk Monitoring - Capital Markets - All Locations
H2: Join FINRA and Make a Difference in the Financial Industry

Organization: FINRA (Financial Industry Regulatory Authority)
Job Title: Principal Analyst, Risk Monitoring - Capital Markets
Experience: Senior-level position
Salary Range: Varies based on location and experience
Time Type: Full time

Job Description:
- Responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members
- Reports to a Risk Monitoring Director and supports in identifying existing and emerging risks
- Conducts risk monitoring activities for complex or elevated risk firms with guidance from a Risk Monitoring Director or designee
- Collaborates with internal departments to analyze and communicate regulatory intelligence
- Mentors and coaches more junior level risk monitoring staff
- Serves in leadership roles for special projects and technology initiatives
- Ability to work as part of a team to execute monitoring and assess risks of assigned firms

Education/Experience Requirements:
- Bachelor's degree in Finance, Accounting, Business, or related field
- Graduate degree (MBA or JD) and/or relevant industry certifications preferred
- Demonstrated analytical skills and experience, with knowledge of financial industry and regulatory developments
- Experience in one or more inherent industry risks (. Fraud and Deception, Money Laundering, Market)

Knowledge Requirements:
- Advanced knowledge of FINRA's risk fundamentals
- Intermediate-to-Advanced knowledge of securities rules and regulations
- Intermediate-to-Advanced knowledge of firm business models, business lines, customer bases, products, and services
- Intermediate knowledge of . GAAP accounting standards

Skill Requirements:
- Ability to effectively engage with senior business management, across departments, and with staff in multiple locations
- Intermediate written and verbal communication, financial analysis, and research skills
- Self-starter with ability to handle complex assignments independently
- Intermediate-to-Advanced ability to analyze data and assess risks of member firms
- Proactive, innovative, collaborative, and energized by the exchange of ideas
- Intermediate-to-Advanced proficiency in Microsoft Excel and Word
- Quantitative, analytical, and problem-solving skills

Salary Information:
Salary ranges vary based on location and experience. Please refer to the chart below for the corresponding salary range for each location. Actual compensation is based on various factors such as skills, experience, education, and internal peer comparisons.

- CA: Minimum Salary $109,600, Maximum Salary $206,200
- CO/HI/MN/VT*: Minimum Salary $95,300, Maximum Salary $171,800
- IL*: Minimum Salary $104,900, Maximum Salary $189,400
- Jersey City, NJ/NYC, NY: Minimum Salary $114,300, Maximum Salary $206,200
- MA/WA: Minimum Salary $95,300, Maximum Salary $197,600
- MD/Washington, DC: Minimum Salary $109,600 Maximum Salary $197,600
- NJ State: Minimum Salary $104,900, Maximum $206,200
- NY State: Minimum Salary $95,300, Maximum Salary $206,200

*Including positions performed outside the state but reporting to an office or manager in that state.

Benefits:
- Comprehensive health, dental, and vision insurance
- Basic and supplemental life insurance
- Short and long-term disability coverage
- Business travel accident insurance
- Retirement plans with company match and additional contributions
- Tuition reimbursement
- Commuter benefits
- Adoption assistance
- Backup family care
- Surrogacy benefits
- Employee assistance and wellness programs

Time Off and Paid Leave:
- 15 days of paid time off, 5 personal days, and 9 sick days (pro-rated in the first year)
- 2 volunteer service days (based on full-time schedule)
- Military leave, jury duty leave, bereavement leave, voting and election official leave, care of a family member leave, and childbirth and parental leave (available after 90 days of employment)
- 9 paid holidays (full-time employees)

Important Information:
- FINRA's Code of Conduct imposes restrictions on employees' investments and requires financial disclosures related to our role as a securities regulator
- Employees are required to disclose all brokerage accounts and authorize their broker-dealers to provide duplicate statements to FINRA
- Employees must comply with investment restrictions and dispose of any securities issued by companies on FINRA's Prohibited Company List
- Employees may only maintain securities accounts at firms that provide electronic feeds to FINRA

Search Firm Representatives:
- FINRA does not accept unsolicited resumes from search firms for this employment opportunity
- Valid written agreement and task order must be in place before submitting resumes to FINRA

FINRA is an equal opportunity employer and encourages diversity in the workplace. All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, veteran status, or any other classification protected by federal, state, or local laws. FINRA abides by the requirements of 41 CFR ) and 41 CFR ), which prohibit discrimination against qualified individuals with disabilities and protected veterans, respectively.